(SET) in case the business is listed on the SET.To support SMEs to fully make use of PE, the SEC has carried out five actions:(1) Revising rules to allow exemption for PE manager from holding securities
, Pongsachalerm and Chaiwat?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and Exchange Act of 1992 and thus liable to
, for the benefit of his own or others, also transferred the client?s deposits placed with the company to the accounts of other clients that he was allowed to use. Chalerm?s actions were deemed dishonesty
acceptance of financial assistance from a related company, despite the transaction had a major impact on the applicant?s business operation.Weerawat?s actions as financial advisor supervisor while working with
in benefits from trading of KARAT shares. Apichart?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and
actions were in contravention of Sections 307, 311, 312, 314 or 315 of the SEA, the SEC therefore filed the criminal complaint against Ratchasak and other four alleged offenders to the DSI for further legal
which were investment in gold futures, not spot gold. Accordingly, the actions of G.O.L. (Thailand) were in violation of the Derivatives Act B.E. 2546 (2003), Section 16, subject to sanctions under
trading orders and trading consultations. Thus, the actions of {B} and {C} were considered as trading securities on behalf of the client in violation of Clause 20(2) of the Notification No. TorLorThor. 3
cost and revenue. The information material to investment decision such as key risks and progress of projects was therefore deficient.Their actions were considered as failure to comply with the SEC Office
securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qg-corp.com. The said actions were subject to an imprisonment from 2